Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Mark E Jones | 261512 | 11 | 04/16/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alison Wendy Arnold | 2376970 | 2 | 03/20/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric J Hinds | 3078106 | 1 | 02/28/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan G Caylor | 2142554 | 1 | 02/13/2007 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Douglas B Bonnoront | 2328335 | 1 | 02/09/2007 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Gilda R Borenstein | 1599389 | 3 | 12/18/2006 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Chad Joseph David | 2164762 | 2 | 11/27/2006 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Judith A Lee | 4266796 | 1 | 11/13/2006 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Gordon P Davis | 1255093 | 2 | 10/19/2006 | Customer Dispute | Settled | $10,267.00 | $0.00 | See FINRA Report |
| Scott Davis Paul | 2682712 | 1 | 09/28/2006 | Customer Dispute | Settled | $27,451.00 | $0.00 | See FINRA Report |